BAJAJ FINANCIAL SECURITIES LIMITED

[Pages:76]BAJAJ FINANCIAL SECURITIES LIMITED

ACCOUNT OPENING KIT ? TRADING AND DEMAT

Registered Office:

Bajaj Auto Limited Complex, Mumbai - Pune Road, Akurdi, Pune-411035, Maharashtra

Tel: 020 3018 6403

Email: connect@bajajfinserv.in

Website: bajajfinservsecurities.in

Correspondence Unit 2, Tower B, 2nd Floor, Mantri IT Park, Opposite Inorbit Mall, Nagar Road, Viman Nagar, Pune-411014, Maharashtra

Office Address: Tel: 020 4857 4488

Email: connect@bajajfinserv.in

Website: bajajfinservsecurities.in

Compliance Officers

Name: Bineet Jha Tel: 020 4857 4486

Email: compliance_sec@bajajfinserv.in

Managing Director/ Manager

Name: Manish Jain Tel: 020 4857 4486

Email: compliance_sec@bajajfinserv.in

Members

SEBI Reg. No. (Trading) : INZ000218931 (24 January 2019)

BSE

: 6706

NSE

: 90177

SEBI Reg. No. (DP) : IN-DP- 4182019 (13 June 2019)

NSDL

: IN304300

CDSL

: 12088600

MF ARN

: 163403

Exchange Segment

Clearing Member Details Clearing Member

Clearing Member Code

For any grievance/dispute, please contact Bajaj Financial Securities Limited (BFSL) at the above address or mail at compliance_sec@bajajfinserv.in (for Trading) and compliance_dp@bajajfinserv.in (for DP) or call us at our Tel.No. 020 4857 4443

In case you are not satisfied with the response, please contact the concerned Exchange(s)/Depository(ies):

Exchange/ Depository Contacts

NSE: BSE: CDSL: NSDL:

Phone: +91 22 2659 8190 Phone: +91 22 2272 8097 Phone: 1800-200-5533/022 2305 8563 Phone: 022 2499 4200

Email: ignse@nse.co.in Email: is@ Email: complaints@ Email: relations@nsdl.co.in

You can also lodge your grievances with SEBI at For any queries, feedback or assistance, please contact SEBI on Toll Free Helpline at: 1800 22 7575 / 1800 266 7575

01

ACCOUNT OPENING KIT - INDEX

S. No.

Name of Document

1. Document checklist

Brief Significance of the Document It contains detailed Checklist for Documents required

Page No. 03

2. Instruction/checklist

This section gives an illustrative list of instructions/check list for

filling KYC Form

05

3. Acknowledgement

Acknowledgement for receipt of mandatory documents

07

MANDATORY DOCUMENTS

4. KYC & Account Opening Form for Trading & PART I ? KYC Application Form for Trading and Demat A/c (Individual)

Demat A/c (Individual)

PART II - Account Opening Form for Trading and Demat A/c (Individual)

08

5. KYC & Account Opening Form for Trading & PART I ? KYC Application Form for Trading and Demat A/c (Non-Individual)

Demat A/c (Non-Individual)

PART II - Account Opening Form for Trading and Demat A/c (Non-Individual) 14

6. Guardian Details

KYC Form captures the basic information about the Guardian

20

7. Central Know Your Customer (C-KYC) Application Form (Individual)

C-KYC Form for Individual

21

8. Rights & Obligations ? Demat

Rights & Obligations of Beneficial Owner & Depository Participant as

prescribed by SEBI & Depositories

33

Document stating the Rights & Obligations of Stock Broker/trading

9. Rights and Obligations ? Stock Broker

member, Sub-Broker and client for trading on Exchanges (including

35

additional rights & obligations in case of internet)

10. TRUST Services of CDSL

Terms & Conditions for Availing Transaction Using Secured Texting

(TRUST) Service offered by CDSL

38

11. Policies and Procedures

Document describing significant policies and procedures of the Stock

39

Broker

12. Internet/wireless based trading

Internet & wireless technology based trading facility provided by stock

41

broker to the client

13. Risk Disclosure Documents (RDD)

Document detailing risk associated with dealing in the securities market

42

14. Guidance Note

Document detailing do's and don'ts for trading on Exchange, for the education of the investors

44

15. Tariff Sheet (Trading & Demat)

Document detailing the rate/amount of brokerage & other charges

46

16. Nomination Form

Declaration for Appointing/Cancellation/Updation of Nominee

50

17. FATCA/CRS Declaration (for Individual)

Declaration pertaining for foreign tax liability for Individuals

53

18. FATCA/CRS (Non-Individual)

Declaration pertaining for foreign tax liability for Non-Individuals

55

19. Declaration Form of Ultimate Beneficial Ownership [UBO]/Controlling Persons

Mandatory for Non-Individual applicants

58

VOLUNTARY DOCUMENTS

20. Power of Attorney

59

21. Authority Letter for Running Account of Funds and Securities

62

22. Authorisation for Electronic Contract Note

63

23. Authorisation to Debit Demat Charges

64

24. Option form for issue of DIS

65

25. Declaration For Availing Basic Services Demat Account (BSDA) Facility

66

26. Declaration of Mobile No. & Email

67

27. Family Declaration: Email, Mobile, Updation in Family Codes

68

OTHER DOCUMENTS

28. Rights & Obligation of Stock Brokers & Clients for Availing Margin Trading Facility

69

29. Consent letter for Availing BSE StAR MF Facility

74

02

S. No. 1. Individual 2. Non Resident Indian (NRI) 3. Corporate

4. Partnership Firm 03

DOCUMENTS CHECKLIST

Documents (Copies of all documents to be Self Attested)

1. Photograph 2 PAN 3. Proof of Permanent Address 4. Correspondence Address 5. Bank Proof with MICR Code (cancelled Cheque) 6. Cheque for DP AMC (as per the scheme opted) 7. FATCA declaration

1. Photograph 2. PAN 3. Proof of Foreign Address 4. Proof of Local Address 5. Additional Documents

a. Passport with visa copy/PIO Card/OCI Card b. Portfolio Investment Scheme(PIS) Declaration Copy c. In case of Merchant Navy NRIs, Mariner's declaration or certified copy of CDC (Continuous

Discharge Certificate) 6. Bank Proof with MICR Code (cancelled Cheque) 7. Cheque for DP AMC (as per the scheme opted) 8. FATCA Declaration

1. Photograph a. Whole time directors/two directors in charge of day to day operations b. Individual promoters holding control ? either directly or indirectly

2. Proof of Address a. Whole time directors/two directors in charge of day to day operations b. Individual promoters holding control ? either directly or indirectly

3. PAN a. Of Company b. Whole time directors/two directors in charge of day to day operations c. Individual promoters holding control ? either directly or indirectly

4. DIN Number of Whole time directors/two directors in charge of day to day operations 5. Bank Proof with MICR Code (cancelled Cheque) 6. Balance Sheet and Profit & Loss account with networth information for last two years or for

applicable period. 7. Share Holding Pattern (as of last quarter or more recent) 8. Memorandum and Articles of Association and certificate of Incorporation 9. Board Resolution for investment in securities market 10. Form 18 with Challan 11. Form 32 with Challan 12. List of Directors 13. Authorized signatories list with specimen signature 14. Ultimate Beneficiary Ownership (UBO) Declaration 15. Cheque for DP AMC (as per the scheme opted) 16. FATCA declaration

1. Photograph of all the Partners a. PAN - Partnership Firm b. PAN - All the Partners

2. Proof of Address a. Partnership Firm b. All the Partners

3. Balance Sheet and Profit & Loss account for last two years or for applicable period 4. Copy of Partnership Deed along with authority letter for investment in security market 5. Certificate of Registration (for registered Partnership Firms only) 6. Authorized Signatories list with specimen signatures 7. Bank Proof with MICR Code (cancelled Cheque) 8. Ultimate Beneficiary Ownership (UBO) Declaration 9. Cheque for DP AMC (as per the scheme opted) 10. FATCA Declaration

5. Limited Liability Partnership (LLP)

6. Hindu Undivided Family (HUF)

7. Trusts

8. Foreign Institutional Investors (FII)

1. Photograph of all the Partners 2. PAN

a. LLP b. All the Partners 3. Proof of Address a. LLP b. All the Partners 4. Balance Sheet and Profit & Loss account for last two years or for applicable period 5. Net-worth Certificate (certified by CA) 6. Copy of Partnership Deed along with authority letter for investment in security market 7. Certificate of Registration 8. Authorized Signatories list with specimen signatures 9. Bank Proof with MICR Code (cancelled Cheque) 10. Ultimate Beneficiary Ownership (UBO) Declaration 11. Cheque for DP AMC (as per the scheme opted) 12. FATCA Declaration

1. Photograph of Karta 2. PAN

a. HUF b. Karta 3. Proof of Address a. HUF b. Karta 4. Deed of Declaration of HUF/List of coparceners 5. Bank Proof with MICR Code of the HUF (cancelled Cheque) 6. Cheque for DP AMC (as per the scheme opted) 7. Ultimate Beneficiary Ownership (UBO) Declaration 8. FATCA Declaration

1. Photograph of all the signatories/trustees 2. PAN -

a. Trust b. All the signatories/trustees 3. Proof of Address a. Trust b. All the signatories/trustees 4. Balance Sheet and Profit & Loss account for last two years of for applicable period 5. Copy of Trust Deed 6. Certificate of Registration (for registered trusts only) 7. List of Trustees (certified by Managing Trustees/CA) 8. Bank Proof with MICR Code (cancelled Cheque) 9. Cheque for DP AMC (as per the scheme opted) 10. Ultimate Beneficiary Ownership (UBO) Declaration 11. FATCA Declaration

1. Photograph of all the signatories 2. PAN

a. Bank/Institutional Investors b. All the Signatories 3. Proof of Address 4. Copy of the SEBI registration certificate 5. Authorized Signatories list with specimen signatures 6. Bank Proof with MICR Code (cancelled Cheque) 7. Cheque for DP AMC (as per the scheme opted) 8. Ultimate Beneficiary Ownership (UBO) Declaration

In terms of SEBI circular no. SEBI/MRD/SE/CIR-42/2003 dated November 19, 2003 issued by the Securities and Exchange Board of India the broker member is obliged to disclose to its client that depending upon the market scenario the members/its Directors or its associates do invest/trade in capital/derivatives segment. The same may be noted.

04

INSTRUCTIONS/CHECKLIST FOR FILLING KYC FORM

A. Important Points: 1. Self attested copy of PAN card is mandatory for all clients, including Promoters/Partners/Karta/Trustees and whole time directors and persons authorized to deal in securities on behalf of company/firm/others. 2. Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for attesting the documents, as per the below mentioned list. 3. If any proof of identity or address is in a regional/foreign language, then translation into English is required. 4. Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted. 5. If correspondence & permanent address are different, then proofs for both have to be submitted. 6. Sole proprietor must make the application in his individual name & capacity. 7. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines) copy of passport/PIO Card/OCI Card and overseas address proof is mandatory. 8. For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given. 9. In case of Merchant Navy NRI's, Mariner's declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted. 10. For opening an account with Depository Participant, for a minor, photocopy of the School Leaving Certificate/Mark Sheet issued Higher Secondary Board/Passport of Minor/Birth Certificate must be provided. 11. Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/military officers, senior executives of state owned corporations, important political party officials, etc.

B. PROOF OF IDENTITY (POI): List of documents admissible as Proof of Identity: 1. Unique Identification Number (UID) (Aadhaar)*/ Passport/ Voter ID card/ Driving license. 2. PAN card with photograph. 3. Identity card/documents with applicant's photo issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks. *(Aadhar No. should be redacted or blackened)

C. PROOF OF ADDRESS (POA): List of documents admissible as Proof of Address: (*Documents having an expiry date should be valid on the date of submission) 1. Passport/Voters Identity Card/Registered Lease or Sale Agreement of Residence/ Driving License/ Insurance Copy/ Unique Identification Number (UID) (Aadhaar)#. 2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old. 3. Bank Account Statement/Passbook - Not more than 3 months old. 4. Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts. 5. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-Operative Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/Elected representatives to the Legislative Assembly/ Parliament/Documents issued by any Govt. or Statutory Authority 6. Identity card/document with address, issued by any of the following: Central/State Government and its Departments, Statutory/ Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members. 7. For FII/sub account, Power of Attorney given by FII to the Custodians (which are duly notarized and/or apostiled or consularised) that gives the registered address should be taken. 8. The proof of address in the name of the spouse may be accepted. #(Aadhar No. should be redacted or blackened)

D. EXEMPTIONS/CLARIFICATIONS TO PAN: (*Sufficient documentary evidence in support of such claims to be collected.) 1. In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts e.g. Official liquidator, Court receiver etc. 2. Investors residing in the state of Sikkim. 3. UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India. 4. SIP of Mutual Funds upto Rs. 50,000/-p.a. 5. In case of Institutional clients, namely, FIIs, MFs, VCFs, FVCs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial Institution as defined under Section 4A of the Companies Act, 1956. Custodians shall verify the PAN card details with the original PAN Card and provide duly certified copies of such verified PAN details to the intermediary.

05

E. LIST OF PEOPLE AUTHORIZED TO ATTEST THE DOCUMENTS:

1. Notary Public, Gazetted Officer, Manager of a Scheduled Commercial/Co-operative Bank or Multinational Foreign Banks (Name, Designation & Seal should be affixed on the copy).

2. In case of NRIs, authorized officials of overseas branches of Scheduled Commercial Banks registered in India, Notary Public, Court Magistrate, Judge, Indian Embassy/Consulate General in the country where the client resides are permitted to attest the documents.

IN CASE OF NON-INDIVIDUALS, ADDITIONAL DOCUMENTS TO BE OBTAINED FROM NON-INDIVIDUALS, OVER & ABOVE THE PROOF OF IDENTITY (POI) AND PROOF OF ADDRESS (POA), AS MENTIONED BELOW:

1. Corporate

2. Partnership Firm

3. Trusts

4. Registered Society

5. HUF

6. Unincorporated Associate or Body of Individuals

7. Foreign Institutional Investors (FIIs)

8. Bank/Institutional Investors

9. Army/Government Bodies

a. Copy of the balance sheets for the last two financial years or for the relevant applicable period (to be submitted every year).

b. Copy of latest share holding pattern including list of all those holding control, either directly or indirectly, in the company in terms of SEBI takeover regulations, duly certified by the company secretary/Whole time director/MD (to be submitted every year).

c. Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operations.

d. Photograph, POI, POA, PAN of individual promoters holding control - either directly or indirectly. e. Copies of the Memorandum and Articles of Association and certificate of incorporation. f. Copy of the Board Resolution for investment in securities market, (if applicable). g. Authorised signatories list with specimen signatures. a. Copy of the balance sheets for the last two financial years or as applicable (to be submitted every year). b. Certificate of registration (for registered partnership firms only). c. Copy of partnership deed. d. Authorised signatories list with specimen signatures. e. Photograph, POI, POA, PAN of Partners. a. Copy of the balance sheets for the last two financial years or as applicable (to be submitted every year). b. Certificate of registration (for registered trust only). c. Copy of Trust deed. d. List of trustees certified by Managing Trustees/CA. e. Photograph, POI, POA, PAN of Trustees. a. Copy of Registration Certificate under Societies Registration Act. b. List of Managing Committee members. c. Committee resolution for persons authorised to act as authorised signatories with specimen signatures. d. True copy of Society Rules and By-Laws certified by the Chairman /Secretary. a. PAN of HUF. b. Deed of declaration of HUF/List of coparceners. c. Bank pass-book/bank statement in the name of HUF. d. Photograph, POI, POA, PAN of Karta. a. Proof of Existence/Constitution document b. Resolution of the managing body & Power of Attorney granted to transact business on its behalf. c. Authorised signatories list with specimen signatures. a. Copy of SEBI registration certificate. b. Authorised signatories list with specimen signatures. a. Copy of the constitution/registration or annual report/balance sheet for last two financial years. b. Authorised signatories list specimen signatures. a. Self-certification on letter head. b. Authorised signatories list with specimen signatures.

Icons to help you to identify information required to be filled in the form

Client Signature AS Authorised Signature

S

Secondary Signature

G

Guardian Signature

W T

Third Signature Witness Signature

06

ACKNOWLEDGEMENT TO BAJAJ FINANCIAL SECURITIES LIMITED

Date:_____________

To, Bajaj Financial Securities Limited Unit 2, Tower B, 2nd Floor, Mantri IT Park, Opposite Inorbit Mall, Nagar Road, Viman Nagar, Pune-411014, Maharashtra

Dear Sir/Madam,

I/We hereby confirm that I/We have gone through all the relevant clauses at the time of execution of KYC and have sought the relevant clarification wherever required from the officials of Bajaj Financial Securities Limited. Moreover please arrange to provide the following documents in (please tick the relevant option):

Electronic via Email Physical

S. No.

Brief description of document

1. Rights & Obligations ? Demat (Rights & Obligations of Beneficial Owner & Depository Participant as prescribed by SEBI & Depositories)

2. Rights and Obligations ? Stock Broker (Document stating the Rights & Obligations of Stock Broker/trading member, Sub-Broker and client for trading on Exchanges (including additional rights & obligations in case of internet/wireless technology based trading)

3. Risk Disclosure Documents (RDD) - Document detailing risk associated with dealing in the securities market

4. Policies and Procedures ? (Document describing significant policies and procedures of the Stock Broker)

5. Guidance Note ? (Document detailing do's and don'ts for trading on Exchange, for the education of the investors)

6. Tariff Sheet ? (Document detailing the rate/amount of brokerage and other charges levied on the client for trading on the stock Exchange(s))

I/We understand that the Voluntary documents executed by me/us are out of my/our own free will. I state that I have read and understood all above documents and these documents are binding upon me.

For

(Name of Client)

Client Signature:

Client Code:

(should be signed with Rubber Stamp, if applicable)

07

BAJAJ FINANCIAL SECURITIES LIMITED

PART I ? KNOW YOUR CUSTOMER (KYC) APPLICATION FORM FOR TRADING AND DEMAT A/C ? (INDIVIDUAL)

Please fill this form in ENGLISH and in BLOCK LETTERS. IDENTITY DETAILS

1. Name of Applicant (as appearing in supporting identification document):

M Mandatory

2. Name of Father /Spouse: 3. a. Gender (Please tick one) b. Marital Status (Please tick one) c. Date of birth

Affix recent passport size Photograph and sign across it

Male Female

Single Married

D D MM Y Y Y Y

Transgender

Others

4. a. Nationality (Please tick one) b. Status (Please tick one)

Indian Other (Please specify) Resident Individual Non Resident

Foreign National

5. a. PAN (Self certified copy):

Aadhaar (self certified copy with no. redacted or blackened):

6. Identity proof submitted (Please tick one):

Aadhaar

Valid Passport

Voter ID card

Valid Driving License

PAN card with photograph Identity card issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks/NREGA Job card

7. ID Proof for PAN exempt Cases (DP A/c only): Pan Number

ADDRESS DETAILS

1. Residence/Correspondence Address:

City/Town/Village: Pin Code:

State: Landmark:

Country:

2. Specify proof of Residence/correspondence address submitted:

3. Contact details: Telephone (Office): Telephone (Residence):

E-mail: Mobile No.:

4. Permanent Address (If different from correspondence address. Mandatory for Non-Resident Applicant to specify overseas address):

City/Town/Village: Pin Code:

State: Landmark:

Country:

5. Specify proof of permanent address submitted:

DECLARATION

I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware I may be held liable for it.

Place:

Signature of 1st/Sole Applicant:

Date: D D M M Y Y Y Y

08

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